INVESTORS: Former Berthel, Fisher & Company broker Steve Jeffrey Cummings is facing a customer dispute alleging excessive investment losses. Steve Jeffrey Cummings (CRD#: 2274017) was[...]
Broker / Advisor Investigations
INVESTORS: Ameriprise Financial Services broker Arthur Grossbard was named in a customer dispute alleging he made an unsuitable investment recommendation. Arthur Grossbard (CRD#: 1020971) is[...]
INVESTORS: Newbridge Securities Corporations broker Michael Joseph Whitaker was named in a customer dispute alleging he breached his fiduciary duty, among other misconduct. Michael Joseph[...]
INVESTORS: Allstate Financial Services broker Kennister Ulesley Daley was named in a customer dispute alleging he made unsuitable investment recommendations, among other misconduct. Kennister Ulesley[...]
INVESTORS: Avantax Investment Services broker Virgil Arthur Biggs was named in a customer dispute alleging he made unsuitable investment recommendations. Virgil Arthur Biggs (CRD#: 1755904)[...]
INVESTORS: David Lerner Associates broker Lawrence Merl was named in a customer dispute alleging he made unsuitable investment recommendations. Lawrence Merl (CRD#: 2443190) is registered[...]
INVESTORS: Wells Fargo broker Christopher Dyer Queen was named in a customer dispute alleging he breached his fiduciary duty, causing the client to suffer damages.[...]
INVESTORS: Ameriprise Financial Services broker John August Van Wambeke was named in a customer dispute alleging he failed to update the beneficiaries on an account.[...]
INVESTORS: Hornor, Townsend & Kent broker Debra Lynn Clark was named in a customer dispute alleging she recommended unsuitable investments, among other forms of misconduct.[...]
INVESTORS: Morgan Stanley broker Thomas Craig Bonds was named in a customer dispute alleging he recommended unsuitable investments. Thomas Craig Bonds (CRD: 1867556) is registered[...]